Displaying results 81 - 90 of 102
… Schoeffler, Special Counsel, at 202-551-3860, Office of Capital Markets Trends, Division of Corporation Finance, or … insurance; annuities; disability insurance; insurance against default on individual residential mortgages … (fidelity bonds, disability insurance and insurance against default on individual residential mortgages), adding …
… or dealer to execute a Required Transaction by trading against a customer's order, or executing two customers' orders against each other, through pre-negotiation or … new bond issuances in helping market participants to raise capital and fund origination loans for businesses and …
… from the prohibition in section 4d(f) of the CEA against accepting customer funds to clear swaps at a … regulations applicable to FCMs, including minimum capital, segregation of customer funds, and financial … in connection with any actions or proceedings brought against, or investigations relating to, the exempt …
… funds, securities, or property, either directly or through capital contributions, the sale of stock or other forms of … with each of aspect of the proposal. The baseline against which these costs and benefits are compared is the … requirements in Schedules B and C, particularly if, again, such CPOs are also required to file Form PF. 2. …
… funds, securities, or property, either directly or through capital contributions, the sale of stock or other forms of … data currently collected by the form, and balancing that against the successful use of other Commission data streams, … as operational efficiencies for the Revised Form's filers, against whether the Commission should modify how data on the …
… price series, such as the S&P 500 (a stock index of large capitalization stocks listed on U.S. stock exchanges), the … use or disclosure of material non-public information gained through the performance of official duties, or … (DCOs), and swap data repositories (SDRs). It was again amended in 2011 pursuant to the Dodd-Frank Act.\5\ The …
… to manage risk, promote price discovery, and help channel capital to support decarbonization. The publication of this … prices, the ability of the DCO and clearing members to gain access to the relevant market for purposes of … significance of today's announced Proposed Guidance. Once again, the CFTC is demonstrating leadership in the novel …
… member to meet a margin call or a call for additional capital. Therefore, and consistent with other amendments to … members or market participants, particularly when weighed against the associated costs. OCC believes that because it … would reflect ``profit or loss on the same portfolio against which the initial margin was assessed.'' OCC also …
… member to meet a margin call or a call for additional capital. Therefore, and consistent with other recent … Guidebook over the years, most recently in 2017 and again in 2021. Each time, it engaged extensively with DCOs … exchange rate against this …
… and Custom House USA, LLC, Western Union Business, GPS Capital Markets, Inc., and Associated Foreign Exchange, Inc. … AGNA of swap dealing activity continue to be tested against the de minimis threshold for any rolling 12-month … Based on information gained from market participants,\119\ as well as analysis of …